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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-06-24 |
Branch Locations
444 S. Flower Street Suite 4200, Los Angeles, CA 90071 • United States
La Canada, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Los Angeles | CA | 01/2011 | Present |
| Mml Investor Services, Llc | Los Angeles | CA | 04/2011 | Present |
(1) NAME: MARY JANE SCHROEDER/LENOX ADVISORS INC, INV REL: Y, ADD: RESIDENTIAL ADDRESS, NATURE: LIFE, HEALTH, DISABILITY, LONG TERM CARE. POSITION: SALES, AGENT. START DATE: 01/04/2011. NO. HR/MO: 10. NO. HR/MO DURING SEC TRADING: 5. (2) NAME: HEBERT FINANCIAL AND INSURANCE SERVICES, INV REL: Y. ADD: RESIDENTIAL ADDRESS, NATURE: HERBERT FINANCIAL AND INSURANCE SERVICES. POSITION: AGENT. START DATE: 1985. NO. HR/MO: 0. NO. HR/MO DURING SEC TRADING: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-28 |
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